Develop and update Compliance policies in response to business changes, industry developments and/or regulatory changes.
Review existing Compliance policies on periodic basis.
Conduct Compliance training to employees to educate them on Compliance policies. This includes regular new hire training, periodic refresher training as well as customized, bespoke training as required.
Regulatory and Licensing
Ensure new/revised regulatory guidelines, consultation papers and other regulatory related matters are reported, reviewed and the relevant policies and guidelines are developed or updated timely.
Manage license applications/cessations and related licensing reporting requirements.
Marketing/Distribution Compliance
Carry out review of all marketing materials/RFPs/RFIs/website to ensure adherence with relevant regulatory requirement...
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